Compliance Professional Training for Banking Institutions

This condensed 1-day programme equips bank employees and management with practical knowledge of regulatory obligations, anti-money laundering frameworks, risk management, and corporate governance under local regulatory requirements and international standards. Participants leave with a clear understanding of their compliance duties, their institution's regulatory exposure, and the steps required to build a defensible compliance culture.

Modules

Compliance Landscape & Regulatory Framework
Introduction to banking compliance, the role of Bank Negara Malaysia, and the regulatory environment governing licensed financial institutions. Roles and accountability structures of a Compliance Officer.

Corporate Governance in Banking
Governance frameworks, board and management accountability, internal controls, and the relationship between compliance and risk management functions.

AML/CFT: Concepts, Legal Obligations & KYC
Money laundering typologies, terrorism financing risks, and obligations under applicable AML/CFT regulations. Customer identification requirements, CDD procedures, enhanced due diligence for high-risk customers, and beneficial ownership verification.

Transaction Monitoring & Suspicious Transaction Reporting
Identifying red flags, structuring the transaction monitoring process, and fulfilling STR obligations. Sanctions compliance, PEP screening, and managing reputational exposure.

Risk-Based Compliance & Regulatory Reporting
Applying a risk-based approach to compliance management. Customer risk profiling, gap assessments, reporting obligations, and how to avoid common regulatory penalties.

Governance, Ethics & Compliance Culture
Anti-corruption obligations specific to financial institutions, whistleblowing channels, responding to compliance breaches, and building a sustainable compliance culture within your branch and institution.

Final Activity

Case Study Workshop. Participants work through real-world banking scenarios applying KYC, CDD, red flag identification, and STR decision-making. Group discussion and facilitator review.

Key Outcomes:
Understand the regulatory framework governing licensed financial institutions
Identify personal compliance obligations as a banking professional
Apply AML/CFT requirements including KYC, CDD, and STR in daily operations
Recognise red flags for money laundering, terrorism financing, and sanctions violations
Conduct basic compliance risk assessments and contribute to a risk register
Respond appropriately to compliance breaches and whistleblowing situations
Contribute to a strong compliance culture within your institution

Fee: RM 1,750 per participant
Minimum enrolment: 1 participant
Duration: 1 Day
Level: Intermediate / Banking Professionals
HRD Corp Claimable
Certificate included

Frequently Asked Questions

RM 1,750 per participant.

Bank officers, compliance staff, branch managers, relationship managers, and any banking professional with regulatory or compliance responsibilities.

No prior compliance certification is required, but participants should have some experience working in a licensed financial institution.

Yes, this programme is HRD Corp claimable.

Yes. In-house sessions for banking teams are available and can be tailored to your institution's specific regulatory environment and compliance challenges.

Yes, a Certificate of Completion is provided upon successful attendance.

In-person or in-house. This programme involves case study workshops and group exercises that work best face-to-face.